NSF 24-007: Scientific Integrity Policy | NSF - U.S. National Science Foundation

U.S.

National

Science

Foundation

Scientific

Integrity

Policy

NSF

24-007

February

12,

2024

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

U.S. Naonal Science Foundaon (NSF)

Scienc Integrity Policy

NSF 24-007

January 12, 2024

ABBREVIATIONS AND ACRONYMS ................................................................................................................................... 2

A. PURPOSE ................................................................................................................................................................. 3

B. BACKGROUND ........................................................................................................................................................ 3

C. DEFINITION OF SCIENTIFIC INTEGRITY AND SCIENTIFIC INTEGRITY OFFICIAL ........................................................... 3

D. EFFECTIVE DATE AND POLICY AMENDMENTS ......................................................................................................... 4

E. APPLICABILITY & SCOPE .......................................................................................................................................... 4

F. AUTHORITIES .......................................................................................................................................................... 5

G. EXCEPTIONS ............................................................................................................................................................ 6

H. DEFINITIONS ........................................................................................................................................................... 6

I. PROMOTING A CULTURE OF SCIENTIFIC INTEGRITY AT NSF .................................................................................... 7

I. PROTECTING SCIENTIFIC PROCESSES .......................................................................................................................................... 8

II. ENSURING THE FREE FLOW OF SCIENTIFIC INFORMATION.............................................................................................................. 9

III. SUPPORTING DECISION-MAKING PROCESSES .......................................................................................................................... 11

IV. ENSURING ACCOUNTABILITY ................................................................................................................................................ 12

V. PROTECTIONS .................................................................................................................................................................... 13

VI. PROFESSIONAL DEVELOPMENT FOR GOVERNMENT SCIENTIFIC STAFF ........................................................................................... 14

VII. FEDERAL ADVISORY COMMITTEES (FACS) ............................................................................................................................. 15

J. SCIENTIFIC INTEGRITY WORKING GROUP .............................................................................................................. 16

K. PROCEDURES ........................................................................................................................................................ 16

L. ROLES AND RESPONSIBILITIES ............................................................................................................................... 17

M. MONITORING AND EVALUATING SCIENTIFIC INTEGRITY ACTIVITIES AND OUTCOMES .......................................... 21

N. REPORTING ........................................................................................................................................................... 22

ANNUAL REPORTING ............................................................................................................................................................... 22

O. SCIENTIFIC INTEGRITY POLICY INTERSECTIONS WITH RELATED AND SUPPORTING POLICIES ................................. 22

RELATED POLICIES AND GUIDELINES THAT SUPPORT THE SCIENTIFIC INTEGRITY POLICY......................................................................... 23

RELATED POLICIES THAT INTERSECT WITH SCIENTIFIC INTEGRITY ...................................................................................................... 23

APPENDIX A: ADDITIONAL DEFINITIONS ........................................................................................................................ 26

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

Abbreviations and Acronyms

COI – Conict(s) of Interest

COV – Commiee of Visitors

DEIA – Diversity, Equity, Inclusivity and Accessibility

EAC – Evaluaon and Assessment Capability

FAC – Federal Advisory Commiee

FTAC – Fast Track Acon Commiee

HRM – Division of Human Resource Management

IPA – Intergovernmental Personnel Act

IR/D – Independent Research/Development

NCSES – Naonal Center for Science and Engineering Stascs

NSB – Naonal Science Board

NSF – Naonal Science Foundaon

NSTC – Naonal Science and Technology Council

OECR – Oce of Equity and Civil Rights

OGC – Oce of General Counsel

OIA – Oce of Integrated Acvies

OIG – Oce of Inspector General

OLPA – Oce of Legislave and Public Aairs

OSTP – Oce of Science and Technology Policy

PAM – Proposal and Award Manual

PAPPG – Proposal and Award Policies and Procedures Guide

RGE – Regular Government Employee

SGE – Special Government Employee

SI – Scienc Integrity

SIO – Scienc Integrity Ocial

SOSI – Subcommiee for Scienc Integrity

STEM – Science, Technology, Engineering and Mathemacs

VSEE – Vising Scienst, Engineer and Educator

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

A. Purpose

The purpose of this policy is to rearm the Naonal Science Foundaon's (NSF) commitment, and to enhance

and promote a connuing posive culture of Scienc Integrity. This policy aims to ensure the integrity of all

aspects of scienc acvies, including proposing, reviewing, conducng, managing, and communicang

about science and scienc acvies, and using the results of science. This policy establishes the expectaons

and procedures required to maintain and enhance Scienc Integrity at NSF. This policy applies to all core NSF

acvies, including but not limited to merit review and award decision-making processes, post-award

oversight, basic and applied research performed as part of approved Independent Research and Development

(IR/D) plans and studies performed to support the U.S. and the NSF core acvies.

B. Background

The “National Science Foundation Act of 1950” (Public Law 81-507) set forth NSF's mission and

purpose: To promote the progress of science; to advance the national health, prosperity, and welfare;

to secure the national defense...." Consistent with this mission, the highest standard of Scientific

Integrity, as defined by NSF and by the U.S. Federal Government, has been the hallmark of the

Foundation’s culture and key to successful leadership and support for the advancement of science,

engineering, and STEM education in the U.S.

Scienc and technological informaon, data, and evidence are central to the development and iterave

improvement of sound policies, and to the delivery of equitable services and programs, across every area of

the government. The 2022 NSTC Report of the SI-FTAC (2021 Task Force), Protecng the Integrity of

Government Science,

found that strong Scienc Integrity policies and pracces bolster the ability of Federal

agencies to protect government science.

The Task Force Report summarizes recent foundaonal Execuve branch acons on Scienc Integrity,

including the 2009 Presidenal Memorandum,

the 2010 Oce of Science and Technology Policy (OSTP)

Memorandum,

and the 2021 Presidenal Memorandum.

The requirements of this current policy are derived

from these foundaonal acons, the collecve experience of Federal agencies, and the informed engagement

of stakeholders both inside and outside of government.

C. Definition of Scientific Integrity and Scientific Integrity Official

A Report by the Scientific Integrity Fast-Track Action Committee of the National Science and Technology Council.

“Protecting the Integrity of Government Science.” January 11, 2022.

Presidential Memorandum for the Heads of Executive Departments and Agencies on Scientific Integrity. March 9, 2009.

The White House.

Memorandum for the Heads of Executive Departments and Agencies on Scientific Integrity. December 17, 2010. Office

of Science and Technology Policy.

Presidential Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policy

Making. January 27, 2021.

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The NSF shall adopt the following Ocial Denion

of Scienc Integrity (SI):

Scienc Integrity is the adherence to professional pracces, ethical behavior, and the principles of

honesty and objecvity when conducng, managing, using the results of, and communicang about

science and scienc acvies. Inclusivity, transparency, and protecon from inappropriate inuence

are hallmarks of Scienc Integrity.

Although the responsibility for upholding Scienc Integrity lies with all NSF employees and covered

individuals (as dened in this Policy), NSF has “designated a senior career employee as the agency's lead

Scienc Integrity Ocial (SIO) to oversee implementaon and iterave improvement of Scienc Integrity

policies and processes.”

The SIO is empowered to advocate for upholding principles of SI and to be the steward of the exisng posive

culture of SI at NSF, including educaon, training, and consultaons to connue to elevate SI throughout the

Agency. The SIO is also empowered with the independence necessary to gather and protect informaon to

support the review and assessment of Scienc Integrity concerns, as well as to address the implementaon

of correcve acons and to coordinate with appropriate agency authories to enforce correcve and

administrave acons. The SIO will also manage and coordinate acons to prevent any potenal failure to

adhere to Scienc Integrity Policy. The Scienc Integrity Ocial, in conjuncon with the Chief Science

Ocer, shall also advocate for appropriate engagement of scienc leadership in decision-making.

D. Effective Date and Policy Amendments

This policy is eecve when adopted. This policy shall be reviewed and updated by NSF every two years, or

earlier as appropriate. Amendments to this policy shall be overseen by the SIO and communicated to the

Director of OSTP no later than 30 days aer adopon.

Policy eecve January 12, 2024

E. Applicability & Scope

https://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-Policy-

and-Practice.pdf

Presidential Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policy

Making. January 27, 2021.

A Report by the Scientific Integrity Fast-Track Action Committee of the National Science and Technology Council.

“Protecting the Integrity of Government Science.” January 11, 2022.

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Scienc Integrity is the responsibility of the enre NSF workforce. Covered individuals who must adhere to

the requirements of this policy include all NSF sta (including federal employees, IPAs, VSEEs, temporary

federal employees, contractors, Senate-conrmed Presidenal appointees, fellows, trainees, interns, ad-hoc

reviewers, detailees, volunteers, and special government employees, such as advisory commiee members,

merit review panelists, members of Commiees of Visitors, and site visitors) when they propose, review, or

conduct science or communicate about science and scienc acvies, and all levels of employees who

manage or supervise scienc acvies and use scienc informaon in decision-making.

All collaborators and partners who engage or assist in scienc acvies are expected to uphold the principles

of Scienc Integrity established by this policy. Express requirements will be set forth in individual agreements,

contracts, statements of work, memoranda of understanding, etc.; they may also be established via issuance

of a separate rule or other policy.

F. Authorities

Pursuant to the 2021 Presidenal Memorandum on Restoring Trust in Government Through Scienc Integrity

and Evidence-Based Policymaking, and consistent with the 2009 Presidenal Memorandum on Scienc

Integrity and the 2010 Memorandum from the White House Oce of Science and Technology Policy on

Scienc Integrity, all Federal agencies must establish a Scienc Integrity policy. This policy is established in

accordance with:

1. The “America COMPETES ACT of 2022.”

2. 42 USC § 1861 et seq., “National Science Foundation Act of 1950,” as amended.

3. 5 CFR § 2635, Standards of Ethical Conduct for Employees of the Execuve Branch, as amended.

4. 5 CFR § 735, Employee Responsibilies and Conduct.

5. 45 CFR § 680, NSF Rules of Practice.

6. 45 CFR § 689, National Science Foundation Policy on Research Misconduct.

7. The “Whistleblower Protecon Act” (WPA) of 1989, as amended, Pub. L. No. 101-12.

8. PPD 19, Protecng Whistleblowers with Access to Classied Informaon, Oct. 10, 2012.

9. 41 USC § 4712, The Naonal Defense Authorizaon.

10. The “Federal Advisory Commiee Act of 1972,” Pub. L. No. 92–463, §1, Oct. 6, 1972, 86 Stat. 770.

11. 45 CFR § 690, Federal Policy for the Protecon of Human Subjects.

12. 45 CFR § 46, The Common Rule, as amended.

13. 7 USC §§ 2131-2156, “Animal Welfare Act,” as amended.

14. OMB Memorandum M-20-12, Phase 4 Implementaon of the Foundaons for Evidence-Based

Policymaking Act of 2018: Program Evaluaon Standards and Pracces.

15. 48 CFR § 3, Federal Acquisition Regulation.

16. The “Foundaons for Evidenced-based Policymaking Act of 2018.”

17. The “Informaon Quality Act of 2000,” Pub. L. No. 106-554.

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G. Exceptions

None.

H. Definitions

For the purpose of this policy, the following denions are adopted:

Scienc Integrity is the adherence to professional pracces, ethical behavior, and the principles of

honesty and objecvity when conducng, managing, using the results of, and communicang about

science and scienc acvies. Inclusivity, transparency, and protecon from inappropriate inuence are

hallmarks of Scienc Integrity.

Scienc acvies refer to acvies that involve the applicaon of well-accepted scienc methods

and theories in a systemac manner, and includes, but is not limited to, data collecon,

inventorying, monitoring, stascal analysis, surveying, observaons, experimentaon,

interpretaon, study, research, integraon, economic analysis, forecasng, predicve analycs,

modeling, simulation, technology development, scienc assessment, and science-based or science-

informed decision-making. Scienc acvies at NSF (“NSF Scienc Acvity”) include but are not

limited to Merit Review processes, award decision-making processes, post-award oversight, studies

based on established scienc methodologies and conclusions executed by NSF sta or through

contracts, such as NCSES and OIA/EAC studies and evaluaons, and research as part of NSF-

approved Independent Research and Development (IR/D) acvies.

Scientific Integrity Official (SIO) refers to a senior career employee designated as an

agency’s lead to oversee implementation and iterative improvement of Scientific Integrity

policies and processes consistent with the provisions of the 2021 Presidential Memorandum.

Scientific Staff refers to the Agency’s staff who propose, conduct, or review science or

communicate about science and scientific activities, and who manage or supervise scientific

activities and use scientific information in decision-making.

Addional relevant denions are included in Appendix A

hps://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scienc-Integrity-Policy-

and-Pracce.pdf

NSF has an Independent Research/Development (IR/D) program that permits individuals with approved IR/D plans to

maintain involvement with their professional research. https://new.nsf.gov/careers/rotator-programs at “May I continue

my research while at NSF.”

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

I. Promoting a Culture of Scientific Integrity at NSF

NSF’s mission is to promote the progress of science, advance the naonal health, prosperity and welfare, and

secure the naonal defense, chiey by making grants. To fulll this mission, NSF leadership at all levels

recognizes, supports, and promotes this policy and its underlying principles, as well as model behavior

exemplary of a strong culture of Scienc Integrity.

NSF has always promoted and will connue to promote a culture of Scienc Integrity. This means both

creang and maintaining an environment that is conducive to innovaon and progress and protecng the

scienc sta, the public and the process of science. “Science, and public trust in science, thrives in an

environment that shields scienc data and analyses and their use in policymaking from polical interference

or inappropriate inuence.”

Scienc Integrity is essenal for the advancement of science, engineering, and

STEM educaon. Scienc acvies, ndings and products must not be suppressed, delayed, or altered for

polical or special interest purposes and must not be subjected to inappropriate inuence.

A strong culture of Scienc Integrity begins with ensuring a professional environment that is safe, equitable,

and inclusive of all scienc sta, engineers, and educators. Mulcultural competence is an integral

component of the enre scienc process, and when leveraged, can improve representaveness,

organizaonal eecveness, and eminence of the scienc workforce while fostering innovaon in the

conduct and use of science, and broaden opportunies and parcipaon in science. The responsible and

ethical conduct of scienc acvies requires an environment that is equitable, inclusive, safe, and free from

harassment and discriminaon.

To insll and enhance a culture of Scienc Integrity, NSF will post this policy on its website, develop and

deliver the required SI trainings, provide individual consultaons, and organize outreach and community input

acvies, such as agency townhalls, webinars, listening sessions, and wrien and oral communicaons. NSF

will educate all Agency employees and other covered individuals, as well as contractors who perform scienc

acvies for NSF, on their rights and responsibilies related to Scienc Integrity.

All employees and other

covered individuals will receive Scienc Integrity informaon and training as new employees to make them

aware of their responsibilies under this Scienc Integrity policy within six months of their date of hire. NSF

will also provide biennial training for those who propose, review, conduct, manage, and use the results of and

communicate about science and scienc acvies. Training will be tracked to ensure covered individuals have

received appropriate training.

Memorandum for the Heads of Executive Departments and Agencies on Scientific Integrity. December 17, 2010. Office

of Science and Technology Policy.

Presidential Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policy

Making. January 27, 2021; and https://www.nsf.gov/od/recr.jsp

ibid.

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To promote Scienc Integrity at NSF, this policy outlines seven specic areas:

I. Protecting Scientific Processes.

II. Ensuring the Free Flow of Scientific Information.

III. Supporting Decision-Making Processes.

IV. Ensuring Accountability.

V. Protecting Scientific staff.

VI. Professional Development for Government Scientific staff.

VII. Federal Advisory Committees.

I. Protecting Scientific Processes

Scienc Integrity fosters “honest scienc invesgaon, open discussion, rened understanding, and a rm

commitment to evidence.”

It also enables consideraon and documentaon of diering scienc opinions

and includes peer review. Science, science-based and science-informed decision-making to support STEM

research and educaon, and public trust in science and related acvies, thrive in an environment that shields

scienc data and analyses, and their use in policymaking, from polical interference or inappropriate

inuence.

It is the policy of this agency to:

1. Prohibit political interference or inappropriate influence on scientific activities and the use of

scientific information.

2. Prohibit inappropriate restrictions on resources and capacity that limit and reduce the availability

of science and scientific products outside of normal budgetary or priority-setting processes without

scientific or policy justification.

3. Require that the leadership and management ensure that employees and other covered individuals

engaged in scienc acvies conduct their work free from reprisal or concern for reprisal.

4. Require that all employees and other covered individuals (as defined in this this Policy) ensure the

accuracy of the scientific record and correct identified inaccuracies that pertain to their

contribution to any scientific records.

5. Require that all employees and other covered individuals ensure that the authorship of the

documents they develop, accurately reflects the scientific contributions of those involved.

Memorandum for the Heads of Executive Departments and Agencies on Scientific Integrity. December 17, 2010. Office

of Science and Technology Policy.

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6. When relevant and appropriate, require that Scientific Integrity will be ensured through

independent and unbiased review of scientific activities and scientific research infrastructure,

according to established NSF procedures.

7. Require that all NSF employees and other covered individuals comply with agency policies and

procedures for planning and conducting scientific activities and show appropriate diligence toward

protecting and conserving Federal research resources, such as equipment and other property, and

records of data and results that are entrusted to them.

8. Connue to prohibit research misconduct and detrimental research pracces to ensure the integrity of

scienc acvies.

9. Require that all NSF employees during proposal review and roune assessment report any research

security-related concerns to the Oce of the Chief of Research Security Strategy and Policy.

10. Require that all NSF employees disclose aliaons to their Conicts of Interest (COI) ocial or other

appropriate agency ocial(s) for conict determinaon and appropriate acon.

11. Require that all research and educaon acvies, including those involving human subjects or live

vertebrate animals, comply with pernent laws, regulaons, and ethical consideraons.

II. Ensuring the Free Flow of Scientific Information

Open and mely communicaon of NSF science plays a valuable role in building public trust and understanding

of NSF work. NSF shall facilitate the free ow of scienc and technological informaon and support Scienc

Integrity in the communicaon of scienc acvies, ndings, and products. Scienc and technological

informaon will be disseminated to the extent allowed by, and consistent with, privacy and classicaon

standards, responsible communicaon of scienc informaon, and applicable laws and policies.

It is the policy of NSF to:

1. Facilitate the free flow of scientific and technological information in accordance with privacy and

classification standards, as well as NSF’s policies. Consistent with Open Government

requirements, NSF shall expand and promote access to scientific and technological information by

making it available freely to the public in an online digital format,

consistent with applicable

laws and policies.

2. Require that NSF leadership, supervisors, and clearance officials will not suppress, delay, or alter

findings and products of scientific activities by NSF employees and other covered individuals for

political purposes or influenced by special interests.

https://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-Policy-

and-Practice.pdf

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3. Support and encourage scientific staff to seek advice and work closely with NSF- trained career

communications experts in OLPA to communicate with the media.

4. Provide scientific communication training and communications support to agency scientific staff

to enable their ability to communicate clearly their findings to both policy makers within their

agencies and the public and stakeholders more broadly.

5. Develop and communicate procedures to resolve disputes that arise from decisions to proceed or

not to proceed with proposed interactions with news media, including interviews or other releases

of public information or related activities.

6. Ensure that the work and conclusions of NSF scientific staff and the work and conclusions of work

funded/supported by the federal government are accurately represented in agency

communications. If documents significantly rely on a scientist’s research, identify them as an

author, or represent their scientific opinion, the scientist(s) shall be given the option to review the

scientific content of proposed documents.

7. Ensure that agency scientific staff may communicate their scientific activities objectively without

political interference or inappropriate influence, while complying with agency policies and

procedures for planning and conducting scientific activities, reporting scientific findings, and

reviewing and releasing scientific products. Scientific products (e.g., manuscripts for scientific

journals and presentations for workshops, conferences, and symposia) shall adhere to agency

technical review procedures.

8. Allow NSF employees and other covered individuals to report their scientific findings and

communicate with the media or the public in their official capacities at NSF, subject to any

applicable nondisclosure laws, regulations, orders, and policies. NSF scientific staff shall refrain

from making or publishing statements that could be construed as being judgments of or

recommendations on NSF or any other Federal Government policy unless they have secured

appropriate prior approval to do so. Such communications shall remain within the bounds of their

scientific or technological findings, unless specifically otherwise authorized.

9. Allow scientific staff to communicate with the media or the public in their personal capacities

subject to limitations of government ethics rules. NSF scientific staff may express their personal

views and opinions; however, they should not claim to officially represent the agency or its

policies or use the agency or other U.S. Government seals or logos. Employees and other covered

individuals shall use appropriate written or oral disclaimers for personal activities (i.e., "The views

I am expressing are my personal views. They do not represent the views of the National Science

Foundation or the U.S. government.”)

10. Require that agency officials, including public affairs officers, shall not alter nor direct agency

scientific staff and technology experts to alter scientific and technological research findings or to

alter a presentation of the scientific findings in a manner that would knowingly compromise the

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objectivity or accurate representation of those findings, nor affect a change in presentation without

concurrence of the principal agency scientist or technology expert.

11. Require that in response to media requests about scientific or technological aspects of the work,

NSF’s Office of Legislative and Public Affairs (OLPA) will offer knowledgeable spokespersons

who can, in an objective and nonpartisan fashion, describe these dimensions (OSTP 2010). This

does not include describing the policy implications of their work, which requires separate

permission.

12. Require that technical review and clearance processes include provisions for timely clearance and

expressly forbid censorship, unreasonable delay, and suppression of objective communication of

data and results without scientific or policy justification.

13. Ensure that scientific information is accurately represented in responses to Congressional

briefings, inquiries, testimony, and other requests.

14. Require that NSF official accurately represent the work and conclusions of agency scientific staff

in agency social media communications and that agency scientific staff are appropriately guided

on the use of social, which includes but is not limited to blogs, social networks, online forums, and

micro blogs.

a. If employees and other covered individuals choose to disclose their NSF affiliation on their

personal social media, a disclaimer clarifying that the account or communication represents

personal views may be appropriate. (i.e., "The views I am expressing are my personal views.

They do not represent the views of the U.S. National Science Foundation or the U.S.

government.”)

b. NSF will periodically examine its social media regulations to ensure that they are not overly

restrictive.

c. OLPA’s social media managers are responsible for correcting any errors identified by

scientific staff whose work is represented in NSF social media.

III. Supporting Decision-Making Processes

It is the policy of NSF to:

1. Ensure appropriate decision-making processes, consistent with applicable laws and policies.

This includes decision-making in core NSF scientific activities, such as merit review process

and award decision-making according to established NSF policies.

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2. Ensure the quality, accuracy, and transparency of scientific information used to support policy

and decision-making, including:

3. When peer review is relevant and appropriate, ensure that scientific data and research used to

support policy decisions undergo review by qualified experts, where feasible and appropriate,

and are consistent with law and NSF policy. When independent peer reviews of scientific data

and research are conducted by NSF employees, contractors, and special government

employees (SGE), conflicts of interest and ethics rules review shall be conducted for all

reviewers and such reviews shall adhere to the Office of Management and Budget “Final

Information Quality Bulletin for Peer Review” and applicable laws and policies.

a. Reflect scientific information appropriately and accurately and ensure that it is free of

misinformation.

b. Make scientific findings or conclusions considered or relied on in policy decisions

publicly available online and in open formats, to the extent practicable.

4. Where legally permissible and appropriate, enable scientific staff to directly participate in

policy and management decisions for which they are the agency subject matter expert to ensure

that the science is accurately represented and interpreted.

5. Ensure the accuracy of communication of the science on which a policy decision is based.

6. Develop a transparent mechanism for agency employees and other covered individuals to

express and document differing scientific opinions, including the resolution. If differing

scientific opinions are not resolved during internal deliberations, they can be part of the

agency’s peer review process. The differing opinions will be represented in the agency

deliberative documents for the decision maker’s consideration.

IV. Ensuring Accountability

It is the policy of NSF to:

1. Enforce administrative actions when allegations of a failure to adhere to Scientific Integrity

Policy are substantiated and to implement appropriate policies and procedures to prevent similar

Scientific Integrity issues in the future, whether real or apparent.

2. Encourage and facilitate early informal or formal consultation with the Scientific Integrity

Official to seek advice on preventing failure to adhere to NSF’s Scientific Integrity Policy.

3. Require that allegations or potential allegations of failure to adhere to NSF’s Scientific Integrity

Policy shall be formally and confidentially reported to the Scientific Integrity Official through

email, anonymous reporting webpage, in person, video conferencing, or by telephone. The

Scientific Integrity Official is available for confidential consultations related to concerns about

failures to adhere to NSF’s Scientific Integrity policy. When appropriate, allegations should also

be reported to relevant bodies such as the Division of Human Resource Management (HRM), the

Office of Equity and Civil Rights (OECR) and/or the Office of Inspector General (OIG).

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

4. The Scientific Integrity Official shall publish procedures to respond to allegations of

compromised Scientific Integrity in a timely, objective, and thorough manner. These procedures

shall include the following steps and the expected timeline for each step in the following order:

an initial assessment and review; when appropriate, make referral to another office that handles

the type of allegation or initiate the administrative process with HRM; a fact-finding process; an

agency adjudication or determination of an appropriate remedy and appeals process; methods for

follow-up to track implementation of remedies; and reporting. The procedures will document the

necessary elements for each step of the process, including establishing whether the allegation has

substance, the requisite burden of proof, any necessary determination of intent, and proper

channels and expectations for reporting. The procedures should also detail the roles of the

Scientific Integrity Official and other related NSF officials in the process.

V. Protections

To assure the protecon of government scienc sta and, as appropriate, other covered individuals from

retribuon, retaliaon, or reprisal, it is the policy of NSF to:

1. Select and retain candidates for scientific and technical positions based on the candidate's

scientific and technical knowledge, credentials, experience, and integrity, and hold them and

their supervisors to the highest standards of professional and scientific ethics.

2. Continue to promote diversity, equity, inclusion, and accessibility in the scientific workforce

and to create safe workspaces that are free from harassment and discrimination.

3. Reports or allegations regarding failures to adhere to Scientific Integrity principles

such as

discrimination, harassment, and research misconduct, may be referred to the appropriate

offices such as the Office of Equity and Civil Rights and Office of the Inspector General, as

appropriate.

4. Prevent supervisors, managers, and other agency leaders from intimidating or coercing

scientific staff to alter scientific or scientific activity-related data, findings, or professional

opinions, or inappropriately influencing scientific advisory boards.

5. Reports of allegations regarding whistleblower reprisal by NSF staff and panelists may be

made to the Office of Inspector General. Reports of allegations regarding whistleblower

reprisal by NSF awardees and contractors also may be made to the Office of Inspector General.

Information about whistleblower protection is available at https://www.whistleblowers.gov.

NSF will comply with whistleblower protections; specifically:

a. By protecting employees from prohibited personnel practices (as defined in 5 U.S.C.

2302(b)), especially those who uncover and report allegations of loss of Scientific Integrity

See the White House Office of Science and Technology Policy Scientific Integrity Task Force Report.

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in good faith, as well as those NSF employees alleged to have compromised Scientific

Integrity in the absence of a finding that the individual compromised Scientific Integrity.

b. The requirements of the "Whistleblower Protection Act of 1989" and its expanded

protections enacted by PL 103-424 and the "Whistleblower Protection Enhancement Act of

2012."

c. The expansion in the "National Defense Authorization Act" of certain whistleblower

protections for employees of federal government contractors, subcontractors, and grant

recipients (41 U.S.C. 4712).

d. Presidential Policy Directive 19, which prohibits supervisors from taking, failing to take, or

threatening to take or fail to take any action affecting an employee’s eligibility for access to

classified information in reprisal for making a protected disclosure.

VI. Professional Development for Government Scientific Staff

It is the policy of the agency to encourage agency scienc sta and other agency employees involved in

agency scienc acvies to interact with the broader scienc community in a manner that is consistent with

NSF policies, Federal rules of ethics, job responsibilies, and to the extent that is praccable given the

availability of funding to support such interacons. This includes:

1. Encouraging timely publication of research, such as in peer-reviewed, professional, scholarly

journals; NSF technical reports and publications; or other appropriate outlets.

2. Encouraging the sharing of scientific activities, findings, and materials through appropriate

avenues including on digital repositories.

3. Encouraging attendance and presentation of research at professional meetings including

workshops, conferences, and symposia.

4. Permitting service on editorial boards, as peer reviewers, or as editors of professional or

scholarly journals, consistent with Federal Ethics laws and NSF policies.

5. Permitting participation on professional societies' committees, task forces, and other specialized

bodies, including removing barriers to serving as officers or on governing boards of such

societies, to the extent allowed by law.

6. Permitting government scientific staff to receive honors and awards for contributions to

scientific activities and discoveries to the extent allowed by law and to accrue the professional

recognition of such honors or awards.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

7. Encouraging scientific staff to perform outreach and engagement activities, such as speaking to

community and student groups and relevant international groups as appropriate, as part of their

official duties.

VII. Federal Advisory Committees (FACs)

Federal Advisory Commiees are an important tool within NSF for ensuring the credibility, quality, and

transparency of agency science. NSF shall adhere to the "Federal Advisory Commiee Act," Pub. L. 92–463,

and develop policies in coordinaon with the General Services Administraon and consistent with the

guidance on lobbyists serving on Federal Advisory Commiees (FACs), for convening FACs tasked with giving

scienc advice, consistent with the following:

1. The recruitment process for new FAC members is intended to be as transparent as practicable.

NSF announces FAC member vacancies widely, including notification in the Federal Register

with an invitation for the public to recommend individuals for consideration and for self-

nominations to be submitted.

2. Information for appointed committee members will be made widely available to the public,

subject to "Privacy Act" and other statutory/regulatory and policy considerations.

3. The selection of members to serve on a scientific or technical FAC is based on the following

criteria, as laid out in publicly available Member Balance Plans:

Primary consideraons are:

• Special knowledge of the science subelds involved in the proposals to be reviewed to evaluate

competence, intellectual merit, and ulity of the proposed acvity. Within reasonable limits,

reviewers’ elds of specialty should be complementary within a reviewer group.

• Broader or more generalized knowledge of the subelds involved in the proposals to be reviewed

to evaluate the broader impacts of the proposed acvity. Reviewers with broad experse are

required for proposals involving substanal size or complexity, broad disciplinary or muldisciplinary

content, or signicant naonal or internaonal implicaons.

https://www.nsf.gov/od/ogc/faca.jsp and https://www.nsf.gov/about/performance/dir_advisory.jsp

E.g., NSF Merit Review Digest; NSF Committee of Visitors (CoV) - https://www.nsf.gov/od/oia/activities/cov/; "Federal

Advisory Committee Act" (FACA) – https://www.nsf.gov/od/ogc/faca.jsp

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• Broad knowledge of the infrastructure of the specic scienc area under review and its

educaonal acvies, to evaluate contribuons to societal goals, scienc and engineering

personnel, and distribuon of resources to organizaons and geographical areas.

To the extent praccable, other factors considered are:

• Qualied individuals reecng small, medium, and large organizaons, as well as public and private

organizaons.

• Qualied individuals reecng underrepresented groups, such as ethnic minories, women, and

individuals with disabilies.

• Qualied individuals reecng range of ages.

• Qualied individuals reecng dierent geographical area.

4. The selection process is to be overseen by NSF officials with appropriate expertise.

5. NSF intends to engage members of scientific and technical FACs as Special Government

Employees (SGEs), Regular Government Employees (RGEs) and/or Representatives, as

appropriate, to further transparency goals and accomplish the work of the FAC.

All reports, recommendations, and products produced by FACs are to be treated as solely the

findings of such committees rather than of the U.S. Government. They will not be subject to

intra- or interagency revision except where appropriate to comply with applicable laws and

policy.

J. Scientific Integrity Working Group

NSF established a Scientific Integrity Working Group comprising senior agency career employees and

chaired by the Scientific Integrity Official to provide oversight for the implementation of the Scientific

Integrity Policy at NSF; act as liaisons for their respective agency units; assist with training and policy

assessment, updates and amendments; and to be available to address any questions or concerns

regarding this policy. The Scientific Integrity Working Group was formally charged by the Chief

Operating Officer (COO) outlining the group’s responsibilities, criteria for selection as a member,

other duties of members, and the frequency of meetings.

K. Procedures

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The Scienc Integrity Ocial, in conjuncon with other NSF career ocials, will:

- Update the NSF SI Policy webpage and make it prominently available. It will be posted in the

NSF’s main page under “Resources” and it will have an easily identifiable URL:

www.nsf.gov/scientific-integrity.

- The Webpage will include the most current SI Policy as well as links to all related NSF and

other federal policies and guidelines.

- Instructions to submit SI concerns as well as SIO contact information.

- Within one year from the date of release of this Policy, NSF will develop and prominently post

on NSF’s website the procedure to address Scientific Integrity concerns.

- NSF will prioritize and develop additional procedures as appropriate. Some procedures under

consideration include but are not limited to handling differing scientific opinions, updated

process for clearance of scientific products that include non-public information or NSF’s

business data, scientific communications, authorship and attribution.

L. Roles and Responsibilities

Scienc Integrity is everyone’s responsibility. The following have specic Scienc Integrity roles and

responsibilies:

NSF Director

1. Provides leadership for the agency on Scientific Integrity such as leading through example,

upholding Scientific Integrity principles and regularly communicating the importance of

Scientific Integrity.

2. Ensures that all agency activities associated with scientific and technological processes are

conducted in accordance with the policy.

3. Ensures all supervisors and managers comply with the Scientific Integrity policy and ensures

accountability for those who do not.

4. Ensures that violations of Scientific Integrity policies are taken as seriously as violations of

government ethics rules and that appropriate administrative actions are taken.

5. Designates the Chief Operating Officer, who is a senior agency employee with agency-

appropriate qualifications and well-known scientific credentials for the role of Chief Science

Officer and support as advisor on scientific issues.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

6. Ensures that the scientific-integrity policy considers, supplements, and supports agency plans

for forming evidence-based policies, including the evidence-building plans required by 5

U.S.C. 312(a) and the annual evaluation plans required by 5 U.S.C. 312(b).

7. Provides adequate resources and funding to implement this policy including staffing,

monitoring, evaluation, reporting, and training.

8. Supports and respects the Scientific Integrity official’s independence, recommendations and

designation of and agency compliance with corrective scientific actions when violations of this

policy are substantiated.

Chief Science Ocer (CSO)

1. The Director will designate the position carrying out the programmatic duties of the Chief

Operating Officer as NSF’s Chief Science Officer (CSO)

2. The CSO serves as the principal advisor to the Director on scientific issues and ensures that the

agency’s scientific activities are scientifically and technologically well-founded and conducted

with integrity.

3. In cooperation with the Scientific Integrity Official, oversees the implementation and iterative

improvement of policies and processes affecting the integrity of research funded, conducted, or

overseen by the agency, as well as policies affecting the federal and non-federal scientific staff

who support the scientific activities of the agency, including scientific integrity policies.

4. Supports the Scientific Integrity Official’s designation of and agency compliance with

corrective actions when violations of this policy are substantiated. Assistance may be sought

from the National Science and Technology Council Subcommittee on Scientific Integrity in

cases of disagreement.

5. Ensures that NSF establishes necessary clear administrative actions for substantiated violations

of Scientific Integrity policies, designating responsibility for each aspect of accountability.

Scienc Integrity Ocial (SIO)

1. Is a designated, full-time equivalent, career employee who has agency appropriate scientific

credentials appointed at a senior level; for example, as a Senior Advisor, Senior Staff

Associate or in the Senior Executive Service (SES).

2. Oversees implementation and iterative improvement of scientific integrity policies and

processes providing leadership, acting to champion Scientific Integrity, and serving as the

primary agency-level contact for questions regarding Scientific Integrity and ensuring

Scientific Integrity activities and outcomes are appropriately monitored and evaluated.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

3. Promotes a positive culture of Scientific Integrity in the agency.

4. Leads training and outreach initiatives to facilitate employee awareness and understanding of

this policy.

5. Serves as a neutral point of contact for receiving Scientific Integrity questions and concerns

and allegations of compromised Scientific Integrity.

6. Conducts or coordinates an initial assessment of allegations and submitted materials, following

established procedures, to determine whether the allegations pertain to compromised Scientific

Integrity and the appropriate handling of said allegations. Provides independent oversight of

agency responses to allegations of compromised Scientific Integrity referred for an inquiry or

investigation, including:

7. Reviews agency-submitted reports of allegations and their disposition.

8. Maintains a status report of responses to allegations as a means of monitoring the progress

toward resolution.

9. Leads efforts to update this policy and any accompanying guidance, as appropriate.

10. Reports to the Chief Science Officer on matters involving Scientific Integrity.

11. Coordinates with the Office of the General Counsel (OGC), Office of Inspector General (OIG),

the Office of Equity and Civil Rights (OECR), the Office of Legislative and Public Affairs,

(OLPA), the Office of Human Resources Management (HRM), Office of Integrative Activities

(OIA), and the Office of the Chief Information Officer and other offices, as necessary.

12. Reports and coordinates actions as the result of allegation of compromised Scientific Integrity

involving NSF Scientific Staff, as appropriate, with HRM.

13. Reports of any alleged discrimination or harassment that is uncovered during the course

of responding to an allegation of compromised Scientific Integrity to OECR, which will

coordinate with OGC and/or HRM as appropriate.

14. Reports any potentially criminal behavior, such as research misconduct, fraud, waste, abuse,

plagiarism, data fabrications, etc., that is uncovered during the course of responding to an

allegation of compromised Scientific Integrity, to OIG. The SIO and the OIG should

coordinate the follow-up activities as appropriate.

15. Reports any alleged retaliation due to scientific disagreements or whistleblower to HRM that is

uncovered while responding to an allegation of compromised Scientific Integrity and

coordinate as appropriate related to the referral provided to HRM.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

16. Keeps the Chief Science Officer and the NSF Director informed on the status of the

implementation of this policy and any compliance concerns, as warranted.

17. Publishes an annual Scientific Integrity report as described below.

18. Leads efforts, in cooperation with other appropriate offices and federal government agencies,

to recognize and develop new SI policies and procedures in response to the evolution as NSF

and other Federal Government agencies develop and use new technologies, such as artificial

intelligence and machine learning, to provide for equity, efficacy, and accountability in the

context of their specific use in NSF’s business practices and by the scientific community

supported by NSF.

19. Leads efforts for the iterative improvement of this policy and Scientific Integrity initiatives

overall including development and implementation of an evaluation plan to regularly monitor

and evaluate ongoing Scientific Integrity activities and outcomes.

20. To the extent possible, be involved in high-level discussions and strategic planning on the

recruitment, retention, development, and advancement of scientific staff—especially scientific

staff from underrepresented communities—to help ensure that Scientific Integrity is

appropriately and carefully considered.

Scienc Integrity Working Group

1. Under the coordination of the Scientific Integrity Official, oversees implementation and iterative

improvement of Scientific Integrity policies and processes.

2. Coordinates with the agency’s Scientific Integrity Official in implementing the agency’s

scientific-integrity policies and processes.

3. Provides oversight for the implementation of the Scientific Integrity Policy at NSF.

4. Acts as liaisons for their respective agency units.

5. Encourages a positive culture of Scientific Integrity in the agency.

6. Assists with training and policy assessment, updates, and amendments.

7. Is available to address any questions or concerns regarding this policy.

8. Establishes a process to screen and adjudicate alleged failures of adherence to Scientific Integrity

Policy.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

9. Performs other duties as delegated.

Leadership and Management

1. Complies with and ensures agency and employee compliance with the Scientific Integrity

Policy to listen, advise, and report allegations of compromised Scientific Integrity and act as

appropriate.

2. Is aware of and upholds the principles contained in this policy. Lead through example by

upholding Scientific Integrity principles and communicating the importance of doing so.

3. Reports any knowledge of potential failures of adherence to Scientific Integrity Policy to the

SIO.

4. Advises employees to consult with the SIO as appropriate.

5. Refrains from committing prohibited personnel practices (as defined in 5 U.S.C. 2302(b))

against all agency employees and other covered individuals including those who uncover and

report allegations of compromised Scientific Integrity in good faith, as well as those agency

employees alleged to have compromised Scientific Integrity.

6. Consults as appropriate, depending upon the nature of the allegation, with the SIO, human

resources officer, contracting and grant personnel, ethics officer, OIG, OGC, and OECR.

Employees and Other Covered Individuals

1. Should be aware of the principles contained in this policy and how the policy applies to their

duties.

2. Comply with this policy.

3. Abide by the Code of Ethics and adhere to accepted professional values and practices of the

relevant research/scientific communities to ensure Scientific Integrity.

4. Are encouraged to report to the Scientific Integrity Official any knowledge of a failure to adhere

to Scientific Integrity Policy.

5. Complete the required Scientific Integrity trainings.

M. Monitoring and Evaluating Scientific Integrity Activities and Outcomes

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NSF will develop and implement an evaluaon plan to regularly measure, monitor, and evaluate ongoing

Scienc Integrity acvies and outcomes. The plan will include a roadmap of acvies and expected

outcomes; the steps and methods needed to assess the processes and outcomes; the methods and metrics

used to evaluate the acvies and outcomes; and how the data will be analyzed on a regular basis and used

for ongoing improvement of SI processes, procedures, and policies. The plan shall include at a minimum, the

metrics for agencies to collect and report as idened in Chapter 2, subpart Metrics and Measurement

Methods for Scienc Integrity Acvies and Outcomes, and Chapter 3, Crical Metrics for Regular Assessment

and Iterave Improvement of Agency Scienc Integrity Policy Implementaon of the NSTC Scienc Integrity

Framework.

The plan shall also include a meline for implementaon and frequency of data collecon, analysis, review,

recommendaons, and implemenng recommendaons. Monitoring and evaluaon results,

recommendaons, and policy/procedure changes based on results will be reported to agency leadership and

will be made available to agency sta and the public in a mely manner.

N. Reporting

Annual Reporting

The Scienc Integrity Ocial with the Scienc Integrity Working Group is responsible for generang and

making prominently available on the agency’s public facing website an annual report to NSF leadership on the

status of Scienc Integrity within NSF, per the January 27, 2021, Presidenal Memorandum. The report shall

highlight Scienc Integrity successes, accomplishments, or progress across NSF, such as any new Scienc

Integrity hires, training, enhancements to Scienc Integrity policies, etc.; idenfy areas for improvement; and

develop a plan for addressing crical weaknesses in the agency’s policy, if any. It shall report on progress

toward achieving the crical metrics

idened in Chapters 2 and 3, including comparisons to the same

metrics from prior years to show trends over me, whenever feasible. It will also include the number of formal

administrave invesgaons, informal requests for assistance, inquiries and appeals involving alleged or actual

deviaons from the Scienc Integrity policy, and the number of invesgaons and pending appeals. Annual

reporng will also include anonymized individual closed Scienc Integrity case summaries. These summaries

may be posted in a mely manner aer compleon of inquiries and/or incorporated into the annual report.

The idenes of complainants, respondents, witnesses and others involved in the invesgaons shall be

protected.

O. Scientific Integrity Policy Intersections with Related and Supporting Policies

A Framework for Federal Scientific Integrity Policy and Practice - https://www.whitehouse.gov/wp-

content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-Policy-and-Practice.pdf

The metrics may be collected every other year.

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

Scienc Integrity ocials should have an awareness of policies and programs that intersect with the

development of the culture of Scienc Integrity within the agency. Scienc integrity ocials, where

possible, shall be involved in the development or revision of the broader set of policies and pracces that

aect the culture and applicability of Scienc Integrity within NSF.

Related Policies and Guidelines that Support the Scientific Integrity Policy

• “Federal Advisory Committee Act” (FACA)

• “Federal Advisory Committee Act” (FACA) Management Overview

• “Hatch Act”

• National Center for Science and Engineering Statistics (NCSES) Information Quality and

Transparency

• National Policy on the Transfer of Scientific, Technical, and Engineering Information:

National Security Decision Directive-189 (NSDD-189)

• Presidential Memorandum on United States Government – Supported Research and

Development National Security: National Security Presidential Memorandum – 33 (NSPM-33)

• Guidance for Implementing NSPM-33

• “No Fear Act” Notice

• NSF Committee of Visitors (CoV)

• NSF Conflicts of Interest (COI)

• NSF Conflicts of Interest and Standards of Ethical Conduct (NSF Manual 15)

• NSF Directorate and Office Advisory Committees (AC)

• NSF Evaluation and Assessment Capability (OIA/EAC)

• NSF Merit Review Digest

• NSF Research Misconduct (OIG Page)

• NSF Research Misconduct Regulation (45 C.F.R. Part 689)

• NSF Public Access Initiative (PAI)

• NSF Social Media: Comment Policy, Disclaimer, Privacy, Copyright Social Media policies)

• “Research Involving Human Subjects”

• “Research Involving Live Vertebrate Animals” (NSF PAPPG)

Related Policies that Intersect with Scientific Integrity

Diversity, Equity, Inclusion, and Accessibility (DEIA) in Addressing and Strengthening Scienc Integrity and

the Disproporonal Impact of Scienc Integrity Policy Violaons on Underrepresented Groups.

Policies, pracces, and culture intelligence that promote diversity, equity, inclusion, and accessibility in the

scienc workforce and Federal workforce at large and that create safe workspaces free from harassment and

discriminaon are foundaonal for achieving a culture of Scienc Integrity. In an eort to idenfy and reduce

disparies, develop mechanisms to integrate organizaonal change principles to ensure DEIA and merit

principles work in harmony without compromising one for the other. Similarly, Scienc Integrity entails

greater transparency into research processes and policy-making outcomes. The agency will review and address

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NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

potenal Scienc Integrity policy violaons that have a disproporonate impact on underrepresented groups

or have weakened the equitable delivery of agency programs.

Dual Use Research of Concern.

The United States Policy for Oversight of Life Sciences Dual Use Research of Concern spulates that addional

review is required for scienc research that could be directly misapplied, posing a signicant threat with

broad potenal consequences to public health and safety, agricultural crops and other plants, animals, the

environment, materiel, or naonal security.

“Foundaons for Evidence-Based Policymaking Act” (“Evidence Act”).

Scienc Integrity is a foundaonal component of Federal policies and data infrastructure investments

supporng informaon quality, access, protecon, and evidence building and use. The “Evidence Act,” also

anchored in Scienc Integrity, calls on agencies to strategically plan and organize evidence building, data

management, and data access funcons to ensure an integrated and direct connecon to data and evidence

needs. Title II of the Act — the “OPEN Government Data Act” — requires federal agencies to make public data

assets available online, using open standards, machine-readable, open formats, and without restricons (other

than intellectual property rights) that may impede use. The metadata associated with open government data

assets is made available through the Federal Data Catalogue at data.gov. Title III – the “Condenal

Informaon Protecon and Stascal Eciency Act” (CIPSEA) of 2018 - requires agencies to enable stascal

agencies to uphold their fundamental responsibilies to provide mely, relevant, credible, and objecve data

and stascs, and to maintain public trust. Agencies should consult OMB’s implemenng guidance (including

OMB M-19-23, OMB M-20-12, and OMB M-21-27, and Stascal Policy Direcve 1) to ensure that Scienc

Integrity policies and procedures complement and reinforce related requirements of the “Evidence Act.”

Agency Learning Agendas and Annual Evaluaon Plans, required by the “Evidence Act,” are posted on agency

websites and linked at Evaluaon.gov.

Human and Animal Subject Protecons.

For the protecon of human subjects of research and clinical invesgaons, requirements for Federal

departments or agencies (conducng or supporng), as applicable, are provided in the Federal Policy for

Protecon of Human Research Subjects (the Common Rule) outlined in 45 C.F.R. §§ 46.101-46.124 and the

FDA Policy for the Protecon of Human Subjects outlined in 21 C.F.R. §§ 50, 56, 312 and 812.

To protect the welfare of animals used in research or other acvies conducted or supported by federal

departments or agencies, compliance with the Federal regulaons and policies governing animal care and use

is required, including regulated species under the United States Department of Agriculture “Animal Welfare

Act” (AWA) and regulaons (AWAR), the Public Health Service Policy on Humane Care and Use of Laboratory

Animals (PHS Policy) administered by the Naonal Instutes of Health, Oce of Laboratory Animal Welfare

and the Guide for the Care and Use of Laboratory Animals.

– 25 –

NSF Scienc Integrity Policy NSF 24-007 New: 02/12/2024

“Nocaon and Federal Employee Andiscriminaon and Retaliaon Act” (“No FEAR Act”). Federal

agencies are required to be held accountable for violaons of andiscriminaon and whistleblower protecon

laws. Under the “No FEAR Act,” agencies must pay for selements, awards or judgments against them in

whistleblower and discriminaon cases out of their own budgets.

Public Access.

Policies and pracces help to ensure that publicaons, data, and other outputs of government-funded

research are equitably and publicly available to other researchers, innovators, students, and the broader

public, including underserved communies, consistent with the 2022 OSTP Memorandum on Ensuring Free,

Immediate, and Equitable Access to Federally Funded Research.

Research Security.

Scienc sta are encouraged to interact with the broader scienc community as well as to engage with

collaborators with a commitment to a shared research environment of openness, transparency, honesty,

equity, fair compeon, objecvity, and democrac values. However, some foreign governments are working

vigorously in contradicon with these values to acquire, through both licit and illicit means, U.S. research and

technology. Research security policies, such as the Naonal Security Presidenal Memorandum 33 (NSPM-33)

and subsequent Guidance for Implemenng NSPM-33, must harmonize with Scienc Integrity policies by

guarding against both foreign government interference and misappropriaon, while ensuring that scienc

sta maintain honest, objecve, transparent, professional, and ethical behaviors.

Appendix A: Additional Definitions

Allegation refers to a formal accusation of a suspected failure to adhere to the Scientific

Integrity Policy.

Administrative record refers to the set of documents that the decision-maker considers,

directly or indirectly, in making a final decision. The record should include all the

factual, technical, and scientific material or data considered in making the decision,

whether or not those materials or data support the decision.

Conduct of science refers to the formulation of hypotheses, study design, testing, data

collection, systematic review, statistical analysis, interpretation, findings, conclusions,

or peer review.

Covered individuals refers to those persons who must adhere to the requirements of this policy,

including all NSF sta (federal employees, IPAs, VSEEs, temporary federal employees), contractors,

(Senate-conrmed) Presidenal appointees, fellows, trainees, interns, ad-hoc reviewers, detailees,

volunteers, and special government employees (such as advisory commiee members, merit review

panelists, members of Commiees of Visitors, and site visitors) when proposing, reviewing, or

conducng science or communicang about science and scienc acvies. It also refers to all levels

of employees who manage or supervise scienc acvies and use scienc informaon in decision-

making. All contractors and partners who engage or assist in NSF’s scienc acvies are expected to

uphold the principles of Scienc Integrity established by this policy.

Decision-making/policymaking refers to the (1) development of policies or making

determinations about policy or management; (2) making determinations about expenditures of

Federal agency funds; (3) implementing or managing activities that involve, or rely on,

scientific activities.

Diversity refers to the unique combination of characteristics, attributes and experiences

resulting from social structures of society that everyone brings to the bear. It is multi-

dimensional and may be comprised of a combination of internal, external, organizational,

and world view characteristics. Internal diversity characteristics are those that an

individual is born with. External diversity characteristics are things an individual is not

born with related to aspects of a person’s life which they have some control over, and

which may change over time. In some cases, external characteristics may be difficult to

identify. They are the outcomes of one’s life choices or their decisions.

This definition is consistent with that used in the Report “Protecting the Integrity of Government Science,” and was

adapted from the definition of “Decision-makers” in NOAA’s Scientific Integrity policy.

Equity refers to consistent and systematic fair, just, and impartial treatment of all

individuals, including individuals who belong to underserved communities that have

been denied such treatment

Ethical behavior refers to activities that reflect norms, such as honesty, lawfulness, equity,

and professionalism, for conduct that distinguish between acceptable and unacceptable

behavior.

Federal agency refers to an Executive department, a Government corporation, and an

independent establishment.

Federal science refers to science conducted by Federal scientific staff.

Federal science agency refers to a Federal agency that conducts intramural research

and/or funds extramural research activities.

Federal scienst refers to a scienst who is a Federal employee or Federal contractor.

Inclusivity refers to the recognion, appreciaon, and use of the talents and skills of employees of all

backgrounds (cite EO 13985 and EO 14035).

Inappropriate inuence refers to the aempt to shape or interfere in scienc acvies or the

communicaon about, or use of scienc acvies or ndings against well-accepted scienc

methods and theories without scienc juscaon.

25,26

Inappropriate interference refers to scientifically unjustified intervention in the conduct,

management, communication, or use of science without proper policy justification. It

includes censorship, suppression, or distortion of scientific or technological findings,

data, information, or conclusions; inhibiting scientific independence during clearance and

review; scientifically unjustified intervention in research and data collection; and

EO 13985; EO 14035

5 USC § 105

https://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-

Policy-and-Practice.pdf

https://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-

Policy-and-Practice.pdf

Examples may include 1) suppressing a decision maker’s ability to offer the best judgment based on scientific

information; 2) preventing the use of best available science; 3) insisting on preclearance of a scientific product for

purposes other than providing advance notification or opportunity to review for technical merit; 4) suppressing,

altering, or delaying the release of a scientific product for any reason other than technical merit or providing

advance notification; 5) removing or reassigning scientific personnel for the purposes of undermining the science;

6) using scientific products that are not representative of the current state of scientific knowledge and research (for

example because of a lack of appropriate peer review, poor methodology, or flawed analyses) to inform decision-

making and policy formulation; or 7) misrepresenting the underlying assumptions, uncertainties, or probabilities

of scientific products. This is not intended to be an exhaustive list.

Differences of scientific opinion are not inappropriate influence.

improper engagement or participation in peer-review processes or on Federal advisory

committees.

Failure to adhere to scientific integrity refers to non-compliance with the Scientific

Integrity Policy or to not adhering to the principles of honesty, objectivity, and

transparency; professional practices; and ethical behavior when conducting, managing,

using the results of and communicating about, science and scientific activities.

Misinformation refers to incorrect, misleading, or misattributed information.

Objectivity refers to the quality of being unbiased, honest, and impartial.

Policy refers to laws, regulations, procedures, administrative actions, incentives, or

voluntary practices of governments and other institutions.

Political interference refers to interference by political officials or motivated by

political considerations.

Professional practices refers to conducting oneself with qualities that are characterized by

skill, competence, ethics, and courtesy.

Quality assurance refers to the systematic monitoring and evaluation of scientific

activities to ensure that standards of quality, information security, and research integrity

are being met.

Research refers to both basic and applied research.

Basic Research refers to experimental or theoretical work undertaken primarily to

acquire new knowledge of the underlying foundations of phenomena and observable

facts. Basic research may include activities with broad or general applications in mind,

such as the study of how plant genomes change, but should exclude research directed

towards a specific application or requirement, such as the optimization of the genome of

a specific crop species.

Applied research refers to original investigation undertaken to acquire new knowledge.

Applied research is, however, directed primarily towards a specific practical aim or

objective.

Research misconduct means fabricaon, falsicaon, or plagiarism in proposing or performing

research funded by NSF, in reviewing research proposals submied to NSF, or in reporng research

results funded by NSF (45 CFR. part 689).

(1) Fabrication means making up data or results and recording or reporting them.

This definition is consistent with that used by the CDC. See

https://www.cdc.gov/policy/paeo/process/definition.html

OMB Circular No. A-11: https://www.whitehouse.gov/wp-content/uploads/2018/06/a11.pdf

(2) Falsification means manipulating research materials, equipment, or processes, or changing

or omitting data or results such that the research is not accurately represented in the

research record.

(3) Plagiarism means the appropriation of another person’s ideas, processes, results or words

without giving appropriate credit.

(4) Research, for the purpose of defining research misconduct, includes proposals submitted

to NSF in all fields of science, technology, engineering, mathematics, and education, and

results from such proposals.

Research misconduct does not include honest errors or dierences of opinion.

Research security refers to safeguarding the research enterprise against the misappropriation

of research and development to the detriment of national or economic security, related

violations of research integrity, and foreign government interference.

Retaliation refers to, per 5 U.S.C. § 2302(b)(8), taking or failing to take, or threatening to

take, personnel action with respect to any employee or applicant for employment because

of any disclosure of information that the employee or applicant reasonably believes

evidences violation of any law, rule, or regulation or gross mismanagement, a gross waste

of funds, an abuse of authority, or a substantial and specific danger to public health or

safety, providing that such disclosure is not specifically prohibited by law and if such

information is not specifically required by Executive Order to be kept secret in the

interest of national defense or the conduct of foreign affairs (per Pub. L. 112-199 § 110).

Science refers to the systemac study of the structure and behavior of the physical and natural

world through observaon, experimentaon, and the tesng of theories against the evidence

obtained.

Scienc acvies refers to acvies that involve the applicaon of well-accepted scienc

methods and theories in a systemac manner, and includes, but is not limited to, data

collecon, inventorying, monitoring, stascal analysis, surveying, observaons,

experimentaon, interpretaon, study, research, integraon, economic analysis, forecasng,

predicve analycs, modeling, simulation, technology development, scienc assessment, and

science-based or science-informed decision-making. Scienc acvies at NSF (“NSF Scienc

Acvity”) includes, but is not limited to, Merit Review process, award decision-making process,

award post-award oversight, studies based on established scienc methodologies and

conclusions executed by NSF sta or through contracts, such as NCSES and OIA/EAC studies and

evaluaons, and research as part of NSF-approved Independent Research and Development

(IR/D) acvies.

https://www.dni.gov/index.php/safeguarding-science/research-security

Oxford Dictionary

Scienc Integrity is the adherence to professional pracces, ethical behavior, and the principles

of honesty and objecvity when conducng, managing, using the results of, and communicang

about science and scienc acvies. Inclusivity, transparency, and protecon from

inappropriate inuence are hallmarks of Scienc Integrity.

Scientific Integrity Official refers to a senior career employee designated as an

agency’s lead to oversee implementation and iterative improvement of Scientific

Integrity policies and processes consistent with the provisions of the 2021 Presidential

Memorandum.

Scientific Staff refers to the agency’s staff who propose, conduct, or review science or

communicate about science and scientific activities, and who manage or supervise

scientific activities and use scientific information in decision-making.

Scientist refers to an individual whose responsibilities include collection, generation, use,

or evaluation of scientific and technical data, analyses, or products. This includes, but is

not limited to, Federal employees, contractors, and trainees. It does not refer to

individuals with scientific and technical training whose primary job functions are in non-

scientific roles (e.g., policymakers, communicators).

Special Government Employee refers to an officer or employee who is retained,

designated, appointed, or employed by the Government to perform temporary duties, with

or without compensation, for not more than 130 days during any period of 365

consecutive days.

The following are examples of persons that are often appointed as a

special government employee when the person is not a regular federal employee:

panelists, advisory committee members, committee of visitor members, and NSB

members.

Transparency refers to ensuring all relevant data and informaon used to inform a decision made or

acon taken is visible, accessible, and consumable by aected or interested pares, to the extent

allowable by law.

Presidential Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based

Policy Making. January 27, 2021.

https://www.whitehouse.gov/wp-content/uploads/2023/01/01-2023-Framework-for-Federal-Scientific-Integrity-

Policy-and-Practice.pdf

As defined at 18 U.S.C. § 202